Senior Compliance Officer, Asset Management firm ($25-$45K/mth) recruitment
The Company Are you looking for a compliance position that offers the variety and scope for you to enhance your professional career in 2012? Our client is a well established and highly regarded Asset Management firm in Hong Kong seeking to appoint an experienced Compliance Officer within their continued growing business. The Role • Conduct compliance monitoring reviews and testing under the compliance program; • Develop, implement and monitor policies and procedures to ensure compliance with relevant legislative, regulatory and policy requirements; • Assist in reviewing and analysing changes Read more […]
Senior Compliance Officer – Investment Advisor recruitment
Compliance Officer would report into the Chief Compliance Officer and act as more of a generalist. Responsibilities include: marketing review, policy procedures writing, regulatory filings, AML and training.Candidates must have very strong/experience knowledge of rule 206(4)-7 of the Investment Advisers Act. Covering the annual review is a must and candidates should be very well versed in this element of the role.Candidates must have very strong Investment Advisor compliance rule/regs experience. This rule knowledge/interpretation on the Investment Advisory side is a very important element of Read more […]
Senior Compliance Officer, Financial Institution recruitment
The Company This market leading global financial institution requires a senior compliance officer to join their rapidly growing Compliance Team. The role requires the oversight of the compliance processes and provides advice and guidance to the business in order to satisfy all external regulatory obligations. The Role • Review and evaluate business processes to ensure that operations are in compliance with regulatory policies and procedures; • Provide compliance advice; • Review marketing material and correspondence; • Liaise with regulators in handling enquiries and complaints; • Prepare Read more […]
Senior Compliance Officer / Compliance Manager – Investment Group recruitment
The Company Our client is a leading international Investment group with Asset Management, Brokerage, Securities and Corporate Finance licenses. They are currently seeking an experienced Compliance Officer to join their growing venture. This is an excellent stepping stone into a large financial planning organisation, with the potential to build a career within the well respected compliance function. The Role • Handling SFC’s enquiries; • Reviewing marketing materials; • Contributing to the design, implementation and on-going improvement of compliance manuals, policies, procedures and systems; Read more […]
Compliance Officer/ Senior Compliance Officer
The Company Swiss private bank and asset management company with international presence. The Role You will be responsible for: drafting and implementing compliance policies and procedures in accordance with HK legal and regulatory requirements. conducting KYC and AML transaction monitoring in respect of private banking clients managing licence applications to SFC and/or HKMA. setting up and monitoring investment suitability framework for private banking clients performing compliance checking and review / monitor investment restrictions in respect of funds under management Read more […]
Senior Compliance Officer, Private Equity Fund investor, London – 3028 /5D
Recruiter’s Reference: 3028 /5DAbout our clientOur client is a an internationally recognized and well funded global asset manager that focuses on private equity investments. Its head office is based in Switzerland and it has offices across Europe, Asia and the Americas.Responsibilities Advise the business on all applicable regulatory obligations, regulatory developments and suitable procedures required to ensure compliance with these obligationsImplement and oversee comprehensive monitoring programme(s) to ensure business is conducted in compliance with all relevant regulatory obligationsReport Read more […]